 Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling...  United States Code - Page 1802by United States - 1953Full view - About this book
 | United States. Securities and Exchange Commission - 1945 - 1290 pages
...investment adviser within the intent of Section 202 (a) (11) of the Act.1 'Section 202 (a) (11) reads: "Investment adviser" means any person who, for compensation,...bank, or any holding company affiliate, as defined in the Banking Act of 1933, which is not an Investment company; (B) any lawyer, accountant, engineer,... | |
 | United States - 1968 - 374 pages
...unincorporated, which constitutes,, maintains, or provides a market place or facilities for bringingtogether purchasers and sellers of securities or for otherwise...bank, or any holding company affiliate, as defined in the Banking Act of 1933, which is not an investment company; (B) any lawyer, accountant, engineer,... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 pages
...2,000 shares, of which only 78 are issued and outstanding. 1 Section 202 (a) (11) of the Act provides : "Investment adviser" means any person who, for compensation,...bank, or any holding company affiliate, as defined In the Banking Act of 1933, which is not an Investment company; (B) any lawyer, accountant, engineer,... | |
 | United States. Securities and Exchange Commission - 1953 - 824 pages
...authorized capital stock of 2,000 shares, of which 'Section 202 (a) (11) reads in part as follows: "Investment adviser" means any person who, for compensation,...bank, or any holding company affiliate, as defined In the Banking Act of 1033, which Is not an Investment company ; . . . or (F) snch other persons not within... | |
 | United States. Securities and Exchange Commission - 1955 - 920 pages
...in real and personal property." The firm presently carries between 1 Section 202 (a) (11) reads: " 'Investment adviser* means any person who, for compensation,...or writings, as to the value of securities or as to advisability of Investing In, purchasing, or selling securities, or who, for compensation and as part... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 pages
...execute or order the execution of purchases or sales of securities for the account of such conmpany. (16) "Investment adviser" means any person who, for compensation,...regular business, issues or promulgates analyses or report* concerning securities: but does not include (A) a bank: (B) any lawyer, accountant, engineer,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 pages
...from an investment adviser in title II. Mr. BOREN. I see. Mr. WHITE. An investment adviser in title II means any person who, for compensation, engages in...selling securities, or who for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. Mr.... | |
 | United States - 1973 - 400 pages
...unincorporated, which constitutes, maintains, or provides a market place or facilities for bringingtogether purchasers and sellers of securities or for otherwise...include (A) a bank, or any holding company affiliate, as denned in the Banking Act of 1933, which is not an investment company; (B) any lawyer, accountant,... | |
 | United States. Congress. House. Appropriations - 1941 - 1532 pages
...individuals, partnerships, corporations or other forms of organization who for compensation engage in the business of advising others either directly...securities or as to the advisability of investing in, buying, or selling securities, or who for compensation and as part of a regular business disseminate... | |
| |
